Alfred B. Nimocks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Alfred Byron Nimocks III, who also goes by A Byron Nimocks III, was a registered financial professional .
Alfred is a previously registered financial professional and started their career in finance in 1988. Alfred had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2023 - July 17, 2026
FIRST MANHATTAN CO. LLC
May 18, 2021 - March 10, 2023
FIRST MANHATTAN SECURITIES LLC
April 13, 1988 - July 17, 2026
FIRST MANHATTAN SECURITIES LLC
Primary Firm SEC Registration
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIRST MANHATTAN CO. LLC
CRD#: 325281 / SEC#: 801-12411
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 5,722 |
| AUM (Assets Under Management) | $ 34,439,571,092 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/25/2024 | ||
| 11/28/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
